Regulatory Affairs Specialist
3 weeks ago
Job Summary: We are seeking an experienced Compliance Officer to oversee our Compliance team at our West Oxfordshire office.
Key Responsibilities:
* Provide an effective systems and controls framework across the Organisation, ensuring compliance with all regulatory regimes under which the business operates.
* Focus primarily on FCA compliance, encompassing Data Protection Act and Proceeds of Crime Act.
* Ensure the business and its Appointed Representatives comply with all regulations, undertaking monitoring reviews to demonstrate compliance.
* Relevant qualification, such as CISI Level 6 Diploma in Financial Compliance.
* Hold the SMF 16 function (Compliance oversight function).
* Manage and oversee a small compliance team.
* Experience within the investment/financial planning Industry is essential.
Location: This is a full-time office-based role, located within a commutable distance to Witney, Oxfordshire, OX28.
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